lifts-guidance-notes-on-the-uk-regulations.pdf

Product standardsLIFTS

Guidance notes on the UK Regulations

November 1999

URN 99/1167

Whilst every effort has been made to ensure that theinformation in this booklet is accurate, the Departmentof Trade and Industry cannot accept liability for anyerrors, omissions or misleading statements in thatinformation, whether caused by negligence or otherwise.

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ContentsPage

Lifts - the Regulations in brief 3

Free movement of goods 4

Lifts Regulations 1997 5

Entry into force, transitional arrangements & coverage 5

Definitions 5

Exclusions 6

Essential Health and Safety requirements 6

Methods of complying 6

Attestation 7

Other Directives 9

Obligations of other persons in respect of conformity 9assessment procedure

Supplementary provisions 9

Free circulation 10

Safeguard procedure 10

Implementation 10

Repeals 10

Standards 11

Availability of text 11

(Continued)

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ANNEX A: Essential Health and Safety Requirements relating to the 13design and construction of lifts and safety components- Schedule 1

ANNEX B: Content of Declarations of Conformity - Schedule 2 19

ANNEX C: CE marking and other inscriptions - Schedule 3 21

ANNEX D: List of safety components - Schedule 4 22

ANNEX E: EC type examination (module B): safety components 23and lifts - Schedule 5

ANNEX F: Final inspection of lifts - Schedule 6 28

ANNEX G: Product quality assurance for safety components 30(module E) - Schedule 7

ANNEX H: Full quality assurance for safety components (module H) 33- Schedule 8

ANNEX J: Unit verification for lifts (module G) - Schedule 9 37

ANNEX K: Conformity to type with random checking (module C) 39- Schedule 10

ANNEX L: Product quality assurance for lifts (module E) - Schedule 11 41

ANNEX M: Full quality assurance for lifts (module H) - Schedule 12 44

ANNEX N: Production quality assurance for lifts (module D) - Schedule 13 48

ANNEX P: List of products exempted from the scope of the Regulations 51- Schedule 14

ANNEX Q: Minimum criteria to be taken into account by Member States 52for the notification of bodies

ANNEX R: Diagrammatic representation of conformity assessment 54procedures

IMPORTANT NOTE: THREE CHANGES HAVE BEEN MADE TO THE WORDING OF THEANNEXES OF THE DIRECTIVE AS RECORDED IN THIS GUIDE AT THE REQUEST OFTHE EUROPEAN STANDARDISATION COMMITTEE (CEN) TO BRING THE ENGLISHWORDING INTO LINE WITH THE EQUIVALENT WORDS IN FRENCH AND GERMAN.THESE ARE THE WORDS IN BOLD TYPE IN ANNEX A, CLAUSE 1.4.2; ANNEX A,CLAUSE 4.6; AND ANNEX D, CLAUSE 4 AND REFLECT THE IMPLEMENTATION OFTHE DIRECTIVE.

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Lifts - the Regulations in brief

European Parliament and Council Directive 95/16/EC of 29 June 1995 on theapproximation of the laws of the Member States relating to lifts (the “Lifts Directive”has been implemented in the UK with effect from 1 July 1997 by way of the LiftsRegulations 1997.

Installers of lifts and manufacturers of safety components (“suppliers”) had theoption of complying with the provisions of the Regulations or with existing nationalregulations in force on 29 June 1995, during a transitional period up to 30 June1999.

From 1 July 1999, all suppliers have to comply with the Regulations. All lifts andsafety components within the scope of the Regulations which are placed on themarket and put into service in the United Kingdom, including imports, will have to:

� be safe (or in the case of a safety component enable the lift in which it isinstalled to be safe);

� meet the relevant essential health and safety requirements in their design,construction and installation;

� satisfy the appropriate conformity assessment procedures set out in theRegulations.

� carry CE marking;

� be accompanied by an EC declaration of conformity.

There are also duties concerning:

� liaison between installers of lifts and those responsible for work on the buildingor construction;

� keeping lift shafts free of extraneous piping, wiring or fittings;

� keeping and supplying relevant information to those who are entitled to it.

From 1 July 1999, the provisions of the Lifts Directive apply in the 15 MemberStates of the European Community and, in the remainder of the EEA (Norway,Iceland and Liechtenstein). Together the 18 states constitute the EuropeanEconomic Area (EEA).

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Free movement of goods

Achieving the free movement of goods lies at the heart of achieving an openmarket for business in Europe.

In May 1985, the European Community Ministers agreed on a “New Approach toTechnical Harmonisation and Standards” in order to fulfil this objective.

“New Approach” Directives (that is Community laws) set out essential requirements(for safety, for example), written in general terms which must be met before productsmay be sold in the United Kingdom or anywhere else in the EEA. Europeanharmonised standards fill in detail and are the main way for business to meet theessential requirements. Products meeting the requirements of the respectiveDirectives are to carry CE marking, which means they can be sold anywhere inthe Community (which, in many cases, is extended to the EEA). Directive 95/16/ECis one of these “New Approach” Directives, which has been so extended.

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Lifts Regulations 1997 (S.I. 1997/831)

Entry into force: 1 July 1997. The Regulations apply to lifts and safety componentsfirst placed on the market and put into service on or after 1 July 1997.

Transitional Arrangements: The transitional period ended on the 30 June 1999(see page 3).

Coverage: the Regulations apply to lifts and to safety components (as defined).

Definitions -

For the purposes of the Regulations, certain words are defined; these include:

Lift means an appliance serving specific levels, having a car moving along guideswhich are rigid or along a fixed course even where they do not move along guideswhich are rigid (for example, scissor lifts) and inclined at an angle of more than 15degrees to the horizontal and intended for the transport of:

� persons;

� persons and goods;

� goods alone if the car is accessible, that is to say, a person may enterit without difficulty, and fitted with controls situated inside the car orwithin reach of a person inside.

Installer of the lift means the natural or legal person who takes responsibility forthe design, manufacture, installation and placing on the market of the lift and whoaffixes the CE marking and draws up the EC declaration of conformity.

Placing on the market of the lift (subject to certain exceptions in the Regulations- see page 9) occurs when the installer first makes the lift available to the user.

Manufacturer of the safety components means the natural or legal person whotakes responsibility for the design and manufacture of the safety components andwho affixes the CE marking and draws up the EC declaration of conformity.

Safety components are those which are listed in Schedule 4 to the LiftsRegulations (and Annex D of this Guide).

Other components are components for lifts other than those listed in Schedule 4(NB this phrase is not actually used in the Lifts Regulations but see page 9 below).

A model lift means a representative lift whose technical dossier shows the way inwhich the essential health and safety requirements will be met for lifts which conformto the model lift defined by objective parameters and which uses identical safetycomponents.

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All permitted variations between the model lift and the lifts forming part of the liftsderived from the model lift must clearly be specified (with maximum and minimumvalues) in the technical dossier. (see regulation 13(2)(b).)

By calculation and/or on the basis of design plans it is permitted to demonstratethe similarity of a range of equipment to satisfy the essential health and safetyrequirements (see regulations 8(2)(a)(ii).)

Exclusions: The list of products to which the Regulations do not apply are specifiedin Schedule 14 to the Lifts Regulations - see Annex P of this Guide. Safetycomponents for the lifts so specified are also excluded (see regulation 4(b).)

Essential health and safety requirements (EHSRs): lifts and safety componentsmust satisfy the relevant essential health and safety requirements set out inSchedule 1 to the Regulations (see Annex A), or, in the case of a safety component,it shall enable the lift in which it is installed to satisfy those requirements. It shouldbe noted that the essential requirements of the Construction Products Regulations1991 (S.I. 1991/1620) also apply to lifts. It should also be noted that where therelevant hazard exists and is not dealt with in Schedule 1, the EHSRs of theMachinery Directive (Annex 1 of 89/392/EEC1, as amended, implemented in theUK in Schedule 3 to The Supply of Machinery (Safety) Regulations 1992 (asamended)) apply. The Machinery Directive principles of safety integration (see itsEHSR 1.1.2) must apply in any event.

Methods of complying with the Essential Health and Safety Requirements:conformity with:

� harmonised standards, the reference for which has been published inthe Official Journal of the European Communities; or

� in the absence of harmonised standards, existing national technicalstandards and specifications regarded as important or relevant to theproper implementation of the essential health and safety requirements;or

� the essential health and safety requirements themselves.

Paragraph 2.2 of Annex I to the Directive (Schedule 1 to the Regulations) providesa derogation from the manner in which the objective will be achieved. Thisderogation affords member States the possibility of giving prior approval to othermeans to avoid the specified risk (see Annex A below). Arrangements are in handfor the exercise of this derogation in appropriate cases in the United Kingdom:further information can be obtained from the DTI Contact point (see page 12).

1 89/392/EEC and its amendments 91/368/EEC, 93/44/EEC & 93/68/EEC have now been codifiedand replaced by 93/37/EC

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ATTESTATION (conformity assessment procedure - how to show compliance):the Regulations define various procedures and specify the options available toinstallers of lifts and manufacturers of safety components (see regulation 13 andSchedules 5 to 13).

FOR LIFTS -

Under regulations 8(2)(b) and 13(2),before being placed on the market andput into service a lift must have undergone one of the following procedures

(i) either, if it was designed in accordance with a lift having undergone an ECtype examination as referred to in Schedule 5 of the Regulations, (seeAnnex E) it shall be constructed, installed and tested by implementing:

� either the Final Inspection referred to in Schedule 6 (see Annex F);

� or the quality assurance system referred to in Schedule 11 (seeAnnex L);

� or the quality assurance system referred to in Schedule 13 (see(Annex N).

The procedures for the design and construction stages, on the one hand,and the installation and testing stages, on the other, may be carried out onthe same lift;

(ii) or, if it was designed in accordance with a model lift having undergone anEC type examination as referred to in Schedule 5 to the Regulations, it shallbe constructed installed and tested by implementing;

� either the final inspection referred to in Schedule 6 (see Annex F);

� or the quality assurance systems referred to in Schedule 11 (seeAnnex L);

� or the quality assurance system referred to in Schedule 13 (seeAnnex N).

(iii) or, if it was designed in accordance with a lift for which a quality assurancesystem (QAS) pursuant to Schedule 12 (see Annex M) was implemented,supplemented by an examination of the design if the latter is not wholly inaccordance with harmonised standards, it shall be installed and constructedand tested by implementing, in addition:

� the final inspection referred to in Schedule 6 (see Annex F), or

� the QAS in accordance with Schedule 11(see Annex L), or

� the QAS in accordance with Schedule 13 (see Annex N)

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(iv) or, having undergone the unit verification procedure, referred to in Schedule9 (see Annex J), by a notified body

(v) or, having been subject to the QAS in accordance with Schedule 12 (seeAnnex M) supplemented by an examination of the design if the latter is notwholly in accordance with the harmonised standards

In the cases referred to in (i) (ii) and (iii) above, the person responsible for thedesign must supply to the person responsible for the construction, installation andtesting all necessary documents and information for the latter to be able to operatein absolute security (see regulation 11(2)).

In all the cases above ((i), (ii), (iii), (iv) or (v)) the installer shall affix the CE markingon the lift and draw up a declaration of conformity containing the information listedin Schedule 2 (see Annex B), taking account of the specifications given in theSchedule used (Schedules 6, 9, 11, 12 or 13, as the case may be).

The installer must keep a copy of the declaration of conformity for 10 years fromthe date on which the lift is placed on the market.

The Commission, the member States and the other notified bodies may, on request,obtain from the installer a copy of the declaration of conformity and reports of thetests involved in the final inspection.

FOR SAFETY COMPONENTS - (as listed in Schedule 4 - see Annex D of theGuide)

Under regulations 9(2) and 13(3), before placing safety components listed inSchedule 4 to the Regulations on the market and putting it into service, themanufacturer of a safety component or his authorised representativeestablished in the Community must:

(a) have undergone one of the following procedures:

(i) either submit a model of the safety component for EC type-examinationin accordance with Schedule 5 (see Annex E) and for production checksby a notified body in accordance with Schedule 10 (see Annex K);

(ii) or submit the model of the safety component for EC type-examinationin accordance with Schedule 5 and operate a QAS in accordance withSchedule 7 (see Annex G for checking production);

(iii) or operate a full QAS in accordance with Schedule 8 (see Annex H);

(b) affix the CE marking on each safety component(1) and draw up a declarationof conformity containing the information listed in Schedule 2 taking accountof the specifications given in the Annex used (Schedule 7, 8 or 10) as thecase may be);

1 Note: Paragraph 5 of Schedule 3 to the Regulations provides that the CE marking shall beaffixed on each of the safety components or, where that is not possible, on a label inseparablyattached to the safety component.

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(c) draw up a declaration of conformity and keep a copy for 10 years from thedate on which the safety component was last manufactured.

The safety component must also satisfy the relevant EHSRs and be “safe”.

Other Directives:

By paragraph 6 of Schedule 3, where a lift or safety component is subject to otherCommunity Directives concerning other aspects and which also provide for theaffixing of the CE marking, such marking shall indicate that the lift or safetycomponent is also presumed to conform to the provisions of those other Directives.

By paragraph 7 of Schedule 3, where one or more of those Directives allows themanufacturer, during a transitional period, to choose which arrangements to apply,the CE marking shall indicate conformity only to the Directives applied by theinstaller of the lift or the manufacturer of the safety components. In this case,particulars of the Directives applied, as published in the Official Journal of theEuropean Communities, must be given in the documents, notices or instructionsrequired by the Directives and accompanying the lift or safety component.

Obligations of other persons:

By regulation 14(1), subject to the provisions of regulation 14(2), where neitherthe installer of the lift nor the manufacturer of the safety component nor hisauthorised representative established in the Community has complied with therespective requirements of regulations 8, 9, 11 and 13, those obligations may befulfilled by the person who places the lift or safety component on the market in theCommunity. The same obligations shall apply to whomsoever manufactures orimports (from outside the Community) a lift or safety component and puts it intoservice.

Supplementary provisions:

Regulation 11(1) requires the person responsible for work on the building orconstruction and the installer of the lift to keep each other informed of the factsnecessary for, and to take the appropriate steps to ensure, the proper operationand safe use of the lift and that they take the appropriate measures to ensure itsproper operation and safe use.

Regulation 11 also requires, in that connection, that it shall be ensured that theshafts intended for lifts do not contain any piping or wiring or other fittings otherthan that necessary for the operation and safety of the lift.

Also by virtue of regulation 3(2)(b) nothing in the Regulations shall preclude theplacing on the market of other components which on the basis of a declarationby the manufacturer or his authorised representative established in the Community,are intended to be incorporated into a lift covered by the Directive.

There are certain exceptions to “placing on the market” or “supply” for the purposesof the Regulations (see regulation 12). These include lifts or safety componentsbeing shown at trade fairs, exhibitions or demonstrations provided that a visible

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sign clearly indicates that the lifts or safety components do not conform and arenot for sale until they have been brought into conformity. During demonstrations,however, adequate safety measures must be taken to ensure people’s protection.

Free circulation:

Member States are required by Article 2 of the Lifts Directive to take all appropriatemeasures to ensure that lifts and safety components may be placed on the marketand put into service only if the lifts (or, in the case of safety components, the liftsin which they are to be installed) are not liable to endanger the health or safety ofpersons or, where appropriate, the safety of property, when properly installed andmaintained and used for their intended purpose. This is reflected in the Regulationsby the definition of “safe” (in regulation 2(2)) and the obligations in that respect(see regulations 8(2)(e), 9(2)(e) and 10).

But by virtue of Article 4 of the Lifts Directive, member States must not prohibit,restrict or impede the placing on the market or putting into service of lifts andsafety components which comply with the provisions of the Lifts Directive.

Safeguard procedure: under the Lifts Directive, a member State is required totake all appropriate measures to withdraw from the market lifts or safetycomponents bearing the CE marking and used in accordance with their intendedpurpose which are liable to endanger the safety of people and, where appropriate,of property. The member State must immediately inform the European Commissionof such action and give reasons. Where, after consultation with the partiesconcerned, the Commission finds that the measures are justified, it informs thatmember State and the other member States.

Member States are required to take action against anyone who affixes the CEmarking to lifts or safety components which do not conform to the Lifts Directiveand so inform the Commission and other member States.

These requirements are reflected in Part IV of, and Schedule 15 to, the Regulations.

Implementation : The Directive has been implemented in United Kingdom by theLifts Regulations 1997 (S.I. 1997/831) made under the European CommunitiesAct 1972.

Enforcement : In Great Britain the Health and Safety Executive is responsible forrelevant products for use in the workplace; the Secretary of State in relation torelevant products for private use.

In Northern Ireland the Health and Safety Executive, Northern Ireland is responsiblefor relevant products for use in the workplace and for private use; (Further detailson enforcement and penalties are set out in Part IV of, and Schedule 15 to,the Regulations.)

Repeals: The Directive repealed Directives 84/528/EEC and Directive 84/529/EEC with effect from 1 July 1999 (these were implemented in the United Kingdomby the Electrically, Hydraulically and Oil-Electrically Operated Lifts (Components)(EEC Requirements) Regulations 1991 S.I. 1991/2748 which have been revokedfrom that date).

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Standards: A number of standards are currently being drawn up. Informationrelating to the harmonisation of standards may be obtained from the BSI contact(see next page).

Availability of text of the Regulations: The Lifts Regulations 1997 (S.I. 1997/831)are available from the Stationery Office (Tel: 020 7873 9090)

Availability of the text of the Directive: the complete text of the Lifts Directivehas been published in the Official Journal of the European Communities (No.L 213 Volume 38 of 7 September 1995). (Copies of this text are available fromThe Stationery Office Tel: 020 7873 9090).

Further Information:

Further copies of this booklet are available from the DTI Publications Orderline,who can be contacted at:

Telephone: 0870 1502 500Fax: 0870 1502 333Minicom: 0870 1502 100E-mail: [email protected]

Notified Bodies: Member States shall appoint Notified Bodies that they considersatisfy the minimum criteria laid down in Annex VII of the Directive (see Annex Q).A list of UK Notified Bodies appointed is available from the DTI PublicationsOrderline (see details above). Relevant provisions are contained in regulations15, 16 and 17; anyone interested in being appointed as a Notified Body in theUnited Kingdom should also refer to the Guidelines on the appointment of NotifiedBodies which are available from the DTI contact (see details on page 12).

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Further InformationRegulations

Standards and Technical Regulations Directorate, Section 5Department of Trade and Industry305 Red Zone151 Buckingham Palace RoadLondon SW1W 9SS

Fax: 0207 215 1970

Standards:

Ms Francis WatsonBritish Standards Institution389 Chiswick High RoadChiswickLondon W4 4AL

Fax: 0208 996 7400

Lifts industry sponsorship *

Mr Dominic DavisonDepartment of Trade and IndustryEngineering, Automotive and Metals Directorate, Section 1c151 Buckingham Palace RoadLondon SW1W 9SS

Fax: 0207 215 1518

* Sponsorship basically involves helping UK firms to win both at home and overseas.

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ANNEX A

(Schedule 1 of the Regulations)

ESSENTIAL HEALTH AND SAFETY REQUIREMENTS RELATINGTO THE DESIGN AND CONSTRUCTION OF LIFTS AND SAFETYCOMPONENTS

PRELIMINARY REMARKS

1. Obligations under essential health and safety requirements apply only wherethe lift or safety component is subject to the hazard in question when usedas intended by the installer of the lift or the manufacturer of the safetycomponents.

2. The essential health and safety requirements contained in the Directive areimperatives. However, given the present state of the art, the objectives whichthey lay down may not be attainable. In such cases, and to the greatestextent possible, the lift or safety components must be designed and built insuch a way as to approximate to those objectives.

3. The safety-component manufacturer and the installer of the lift are under anobligation to assess the hazards in order to identify all those which apply totheir products; they must then design and construct them taking account ofthe assessment.

4. In accordance with Article 14, the essential requirements laid down in Directive89/106/EEC, not included in this Directive, apply to lifts.

1. GENERAL

1.1. Application of Directive 89/392/EEC 1 , as amended by Directives91/368/EEC, 93/44/EEC and 93/68/EEC.

Where the relevant hazard exists and is not dealt with in this Annex, theessential health and safety requirements of Annex I to Directive 89/392/EECapply. The essential requirement of Section 1.1.2 of Annex I to Directive89/392/EEC must apply in any event.

1.2. Car

The car must be designed and constructed to offer the space and strengthcorresponding to the maximum number of persons and the rated load of thelift set by the installer.

1 89/392/EEC and its amendments 91/368/EEC, 93/44/EEC & 93/68/EEC have now been codifiedand replaced by 93/37/EC

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ANNEX A

In the case of lifts intended for the transport of persons, and where itsdimensions permit, the car must be designed and constructed in such a waythat its structural features do not obstruct or impede access and use bydisabled persons and so as to allow any appropriate adjustments intendedto facilitate its use by them.

1.3. Means of suspension and means of support

The means of suspension and/or support of the car, its attachments and anyterminal parts thereof must be selected and designed so as to ensure anadequate level of overall safety and to minimise the risk of the car falling,taking into account the conditions of use, the materials used and the conditionsof manufacture.

Where ropes or chains are used to suspend the car, there must be at leasttwo independent cables or chains, each with its own anchorage system.Such ropes and chains must have no joins or splices except where necessaryfor fixing or forming a loop.

1.4. Control of loading (including overspeed)

1.4.1. Lifts must be so designed, constructed and installed as to prevent normalstarting if the rated load is exceeded.

1.4.2. Lifts must be equipped with limitation devices.

These requirements do not apply to lifts in which the design of the drivesystem prevents overspeed .

1.4.3. Fast lifts must be equipped with a speed-monitoring and speed-limitingdevice.

1.4.4. Lifts driven by friction pulleys must be designed so as to ensure stabilityof the traction cables on the pulley .

1.5. Machinery

1.5.1. All passenger lifts must have their own individual lift machinery. Thisrequirement does not apply to lifts in which the counterweights are replacedby a second car.

1.5.2. The installer of the lift must ensure that the lift machinery and the associateddevices of a lift are not accessible except for maintenance and inemergencies.

1.6. Controls

1.6.1. The controls of lifts intended for use by unaccompanied disabled personsmust he designed and located accordingly.

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ANNEX A

1.6.2. The function of the controls must he clearly indicated.

1.6.3. The call circuits of a group of lifts may be shared or interconnected.

1.6.4. Electrical equipment must be so installed and connected that:

� there can be no possible confusion with circuits which do not have anydirect connection with the lift,

� the power supply can be switched while on load,

� movements of the lift are dependent on electrical safety devices in aseparate electrical safety circuit,

� a fault in the electrical installation does not give rise to a dangeroussituation.

2. HAZARDS TO PERSONS OUTSIDE THE CAR

2.1. The lift must be designed and constructed to ensure that the space in whichthe car travels is inaccessible except for maintenance or in emergencies.Before a person enters that space, normal use of the lift must be madeimpossible.

2.2. The lift must be designed and constructed to prevent the risk of crushingwhen the car is in one of its extreme positions.

The objective will be achieved by means of free space or refuge beyond theextreme positions.

However, in specific cases, in affording Member States the possibility ofgiving prior approval, particularly in existing buildings, where this solution isimpossible to fulfil, other appropriate means may be provided to avoid thisrisk.

2.3. The landings at the entrance and exit of the car must be equipped withlanding doors of adequate mechanical resistance for the conditions of useenvisaged.

An interlocking device must prevent during normal operation:

� starting movement of the car, whether or not deliberately activated,unless all landing doors are shut and locked,

� the opening of a landing door when the car is still moving and outside aprescribed landing

However, all landing movements with the doors open shall be allowed inspecified zones on condition that the levelling speed is controlled.

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ANNEX A

3. HAZARDS TO PERSONS IN THE CAR

3.1. Lift cars must be completely enclosed by full-length walls, fitted floors andceilings included, with the exception of ventilation apertures, and withfull-length doors. These doors must he so designed and installed that thecar cannot move, except for the landing movements referred to in the thirdsubparagraph of Section 2.3, unless the doors are closed, and comes to ahalt if the doors are opened.

The doors of the car must remain closed and interlocked if the lift stopsbetween two levels where there is a risk of a fall between the car and theshaft or if there is no shaft.

3.2. In the event of a power cut or failure of components the lift must have devicesto prevent free fall or uncontrolled upward movements of the car.

The device preventing the free fall of the car must be independent of themeans of suspension of the car.

This device must be able to stop the car at its rated load and at the maximumspeed anticipated by the installer of the lift. Any stop occasioned by thisdevice must not cause deceleration harmful to the occupants whatever theload conditions.

3.3. Buffers must be installed between the bottom of the shaft and the floor of thecar.

In this case, the free space referred to in Section 2.2 must be measured withthe buffers totally compressed.

This requirement does not apply to lifts in which the car cannot enter the freespace referred to in Section 2.2 by reason of the design of the drive system.

3.4. Lifts must be so designed and constructed as to make it impossible for themto be set in motion if the device provided for in Section 3.2 is not in anoperational position.

4. OTHER HAZARDS

4.1. The landing doors and car doors or the two doors together, where motorised,must be fitted with a device to prevent the risk of crushing when they aremoving.

4.2. Landing doors, where they have to contribute to the protection of the buildingagainst fire, including those with glass parts, must be suitably resistant tofire in terms of their integrity and their properties with regard to insulation(containment of flames) and the transmission of heat (thermal radiation).

4.3. Counterweights must be so installed as to avoid any risk of colliding with orfalling on to the car.

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ANNEX A

4.4. Lifts must be equipped with means enabling people trapped in the car to bereleased and evacuated.

4.5. Cars must be fitted with two-way means of communication allowingpermanent contact with a rescue service.

4.6. Lifts must be so designed and constructed that, in the event of the temperaturein the lift machine room exceeding the maximum set by the installer of thelift, they can complete movements in progress but refuse new commands.

4.7. Cars must be designed and constructed to ensure sufficient ventilation forpassengers, even in the event of a prolonged stoppage.

4.8. The car should be adequately lit whenever in use or whenever a door isopened; there must also be emergency lighting.

4.9. The means of communication referred to in Section 4.5 and the emergencylighting referred to in Section 4.8 must be designed and constructed so as tofunction even without the normal power supply. Their period of operationshould be long enough to allow normal operation of the rescue procedure.

4.10.The control circuits of lifts which may be used in the event of fire must bedesigned and manufactured so that lifts may be prevented from stopping atcertain levels and allow for priority control of the lift by rescue teams.

5. MARKING

5.l. In addition to the minimum particulars required for any machine pursuant toSection 1.7.3 of Annex I to Directive 89/392/EEC, each car must bear aneasily visible plate clearly showing the rated load in kilograms and themaximum number of passengers which may be carried.

5.2. If the lift is designed to allow people trapped in the car to escape withoutoutside help, the relevant instructions must be clear and visible in the car.

6. INSTRUCTIONS FOR USE

6.1. The safety components referred to in Annex D must be accompanied by aninstruction manual drawn up in an official language of the Member State ofthe lift installer or another Community language acceptable to him, so that:

� assembly,

� connection,

� adjustment, and

� maintenance,

can be carried out effectively and without danger.

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ANNEX A

6.2. Each lift must be accompanied by documentation drawn up in the officiallanguage(s) of the Community, which may be determined in accordancewith the Treaty by the Member State in which the lift is installed. Thedocumentation shall contain at least:

� an instruction manual containing the plans and diagrams necessaryfor normal use and relating to maintenance, inspection, repair, periodicchecks and the rescue operations referred to in Section 4.4.

� a logbook in which repairs and, where appropriate, periodic checkscan be noted.

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ANNEX B

(Schedule 2 to the Regulations)

CONTENTS OF DECLARATIONS OF CONFORMITY

A. Content of the EC declaration of conformity for safety components(1)

The EC declaration of conformity must contain the following information:

� name and address of the manufacturer of the safety components(2),

� where appropriate, name and address of his authorised representativeestablished in the Community(2),

� description of the safety component, details of type or series and serialnumber (if any),

� safety function of the safety component, if not obvious from thedescription,

� year of manufacture of the safety component,

� all relevant provisions with which the safety component complies,

� where appropriate, reference to harmonised standards used,

� where appropriate name, address and identification number of thenotified body which carried out the EC type-examination in accordancewith Article 8 (1) (a) (i) and (ii),

� where appropriate, reference to the EC type-examination certificateissued by that notified body,

� where appropriate, name, address and identification number of thenotified body which carried out the production checks in accordancewith Article 8 (1) (a) (ii),

� where appropriate, name, address and identification number of thenotified body which checked the system of quality assuranceimplemented by the manufacturer in accordance with Article 8 (1) (a)(iii),

� identification of the signatory empowered to act on behalf of themanufacturer of the safety components or his authorised representativeestablished in the Community.

1 The declaration must be drafted in the same language as the instruction manual referred to inAnnex A, Section 6.1, and be either typewritten or printed.

2 Business name, full address, in the case of unauthorised representative, also indicate thebusiness name and address of the manufacturer of the safety components.

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ANNEX B

B. Content of the EC declaration of conformity for installed lifts(3)

The EC declaration of conformity must contain the following information:

� name and address of the installer of the lift(4),

� description of the lift, details of the type or series, serial number andaddress where the lift is fitted,

� year of installation of the lift,

� all relevant provisions to which the lift conforms,

� where appropriate, reference to harmonised standards used,

� where appropriate, name, address and identification number of thenotified body which carried out the EC type-examination of the modelof the lift in accordance with Article 8 (2), (i) and (ii),

� where appropriate, reference of the EC type examination certificate,

� where appropriate, name, address and identification number of thenotified body which carried out the verification of the lift in accordancewith Article 8 (2) (iv),

� where appropriate, name, address and identification number of thenotified body which carried out the final inspection of the lift inaccordance with the first indent of Article 8 (2), (i), (ii) and (iii),

� where appropriate, name, address, and identification number of thenotified body which inspected the quality assurance systemimplemented by the installer in accordance with the second and thirdindents of Article (8) (2) (i), (ii), (iii) and (v),

� identification of the signatory having been empowered to act on behalfof the lift installer.

3 This declaration must be drafted in the same language as the instruction manual referred to inAnnex A, Section 6.2, and be either typewritten or printed.

4 Business name and full address.

21

ANNEX C

(Extract from Schedule 3 to the Regulations)

CE CONFORMITY MARKING & OTHER INSCRIPTIONS

The CE conformity marking shall consist of the initials ‘CE’ taking the followingform:

Diagram 1 Diagram 2

If the CE marking is reduced or enlarged the proportions given in the above drawingmust be respected.

The various components of the CE marking must have substantially the samevertical dimension, which may not be less than 5 mm. This minimum dimensionmay be waived for small-scale safety components.

The CE marking shall be followed by the identification number of the notified bodythat deals with

� the procedures referred to in Regulation 13 (3)(b) and (c).

� the procedures referred to in Regulation 13 (2).

The CE marking shall be fixed to every lift car distinctly and visibly in accordancewith Section 5 of the Essential Health and Safety Requirements set out inSchedule 1.

22

ANNEX D

(Schedule 4 to the Regulations )

LIST OF SAFETY COMPONENTS

1. Devices for locking landing doors.

2. Devices to prevent falls referred to in Section 3.2 of Annex A to prevent thecar from falling or unchecked upward movements.

3. Overspeed limitation devices.

4. (a) Energy-accumulating buffers:

� either non-linear,

� or with damping of the return movement.

(b) Energy-dissipating buffers.

5. Safety devices fitted to jacks of hydraulic power circuits where these areused as devices to prevent falls.

6. Electric safety devices in the form of safety switches containing electroniccomponents.

23

ANNEX E

Schedule 5 to the Regulations

EC TYPE - EXAMINATION: SAFETY COMPONENTS AND LIFTS(module B)

A. EC type-examination of safety components

1. EC type-examination is the procedure whereby a notified body ascertainsand certifies that a representative specimen of a safety component will permitthe lift to which it is correctly fitted to satisfy the relevant requirements of theDirective.

2. The application for EC type-examination must be lodged by the manufacturerof the safety component, or his authorised representative established in theCommunity, with a notified body of his choice.

The application must include:

� the name and address of the manufacturer of the safety componentand of his authorised representative, if the application is made by thelatter, and the place of manufacture of the safety components,

� a written declaration that the same application has not been lodgedwith any other notified body,

� a technical dossier,

� a representative specimen of the safety component or details of theplace where it can be examined. The notified body may make reasonedrequests for further specimens.

3. The technical dossier must allow an assessment of the conformity andadequacy of the safety component to enable a lift to which it is correctlyfitted to conform with the provisions of the Directive.

In so far as is necessary for the purpose of assessing conformity, the technicaldossier should include the following:

� a general description of the safety component, including its area of use(in particular possible limits on speed, load and power) and conditions(in particular explosive environments and exposure to the elements),

� design and manufacturing drawings or diagrams,

� essential requirement(s) taken into consideration and the meansadopted to satisfy it (them) (e.g. a harmonised standard),

24

ANNEX E

� results of any tests or calculations performed or subcontracted by themanufacturer,

� a copy of the assembly instructions for the safety components,

� steps taken at the manufacturing stage to ensure that series-producedsafety components conform to the safety component examined.

4. The notified body must:

� examine the technical dossier to assess how far it can meet the desired aims,

� examine the safety component to check its adequacy in terms of thetechnical dossier,

� perform or have performed the appropriate checks and tests necessaryto check whether the solutions adopted by the manufacturer of thesafety component meet the requirements of the Directive allowing thesafety component to carry out its function when correctly fitted on a lift.

5. If the representative specimen of the safety component complies with theprovisions of the Directive applicable to it, the notified body must issue anEC type-examination certificate to the applicant. The certificate must containthe name and address of the manufacturer of the safety component, theconclusions of the check, any conditions of validity of the certificate and theparticulars necessary to identify the approved type.

The Commission, the Member States and the other notified bodies mayobtain a copy of the certificate and, on a reasoned request, a copy of thetechnical dossier and reports of examinations, calculations and tests carriedout. If the notified body refuses to issue an EC type-examination certificateto the manufacturer, it must state the detailed grounds for refusal. Provisionmust be made for an appeal procedure.

6. The manufacturer of the safety component or his authorised representativeestablished in the Community must inform the notified body of any alterations,even of a minor nature, which he has made or plans to make to the approvedsafety component, including new extensions or variants not specified in theoriginal technical dossier (see the first indent of Section 3). The notified bodymust examine the alterations and inform the applicant whether the ECtype-examination certificate remains valid(1).

7. Each notified body must communicate to the Member States the relevantinformation concerning:

� EC type-examination certificates issued,

� EC type-examination certificates withdrawn.

1 If the notified body deems it necessary, it may either issue an addition to the original EC type-examination certificate or ask for a fresh application to be submitted.

25

ANNEX E

Each notified body must also communicate to the other notified bodies therelevant information concerning the EC type-examination certificates it haswithdrawn.

8. EC type-examination certificates and the dossiers and correspondencerelating to EC type-examination procedures must be drawn up in an officiallanguage of the Member State where the notified body is established or in alanguage acceptable to it.

9. The manufacturer of the safety component or his authorised representativemust keep with the technical documentation copies of EC type-examinationcertificates and their additions for a period of 10 years after the last safetycomponent has been manufactured.

Where neither the manufacturer of a safety component nor his authorisedrepresentative is established in the Community, the obligation to keep thetechnical documentation available falls to the person who places the safetycomponent on the Community market.

B. EC type-examination of lifts

1. EC type-examination is the procedure whereby a notified body ascertainsand certifies that a model lift, or that a lift for which there is no provision foran extension or variant, satisfies the requirements of the Directive.

2. The application for EC type-examination must be lodged by the installer ofthe lift with a notified body of his choice.


� the name and address of the installer of the lift,

� written declaration that the same application has not been lodged withany other notified body.

� a technical dossier,

� details of the place where the model lift can be examined. The modellift submitted for examination must include the terminal parts and becapable of serving at least three levels (top, middle and bottom).

3. The technical dossier must allow an assessment of the conformity of the liftwith the provisions of the Directive and an understanding of the design andoperation of the lift.

In so far as is necessary for the purpose of assessing conformity, the technicaldossier should include the following:

� a general description of the representative model of the lift. The technicaldossier should indicate clearly all possible extensions to therepresentative model of the lift under examination (see Article I (4)),

26

ANNEX E

� design and manufacturing drawings or diagrams,

� essential requirements taken into consideration and the means adoptedto satisfy them (e.g. a harmonised standard),

� a copy of the EC declarations of conformity of the safety componentsused in the manufacture of the lift,

� results of any tests or calculations performed or subcontracted by themanufacturer,

� a copy of the lift instruction manual,

� steps taken at the installation stage to ensure that the series-producedlift conforms to the provisions of the Directive.

4. The notified body must:

� examine the technical dossier to assess how far it can meet the desiredaims,

� examine the representative model of the lift to check that it has beenmanufactured in accordance with the technical dossier,

� perform or have performed the appropriate checks and tests necessaryto check that the solutions adopted by the installer of the lift meet therequirements of the Directive and allow the lift to comply with them.

5. If the model lift complies with the provisions of the Directive applicable to it,the notified body must issue an EC type-examination certificate to theapplicant. The certificate must contain the name and address of the liftinstaller, the conclusions of the check, any conditions of validity of thecertificate and the particulars necessary to identify the approved type.

The Commission, the Member States and other notified bodies may obtaina copy of the certificate and, on a reasoned request, a copy of the technicaldossier and reports of examinations, calculations and tests carried out.

If the notified body refuses to issue an EC type-examination certificate to themanufacturer, it must state the detailed grounds for refusal. Provision mustbe made for an appeal procedure.

6. The installer of the lift must inform the notified body of any alterations, evenof a minor nature, which he has made or plans to make to the approved lift,including new extensions or variants not specified in the original technicaldossier (see the first indent of Section 3). The notified body must examinethe alterations and inform the applicant whether the EC type-examinationcertificate remains valid (1).

1 If the notified body deems it necessary, it may either issue an addition to the original ECtype-examination certificate or ask for a fresh application to be submitted.

27

ANNEX E

7. Each notified body must communicate to the Member States the relevantinformation concerning:

� EC type-examination certificates issued,

� EC type-examination certificates withdrawn.

Each notified body must also communicate to the other notified bodies therelevant information concerning the EC type-examination certificates it haswithdrawn.

8. EC type-examination certificates and the dossiers and correspondencerelating to EC type-examination procedures must be drawn up in one of theofficial languages of the Member State where the notified body is establishedor in a language acceptable to it.

9. The installer of the lift must keep with the technical documentation copies ofEC type-examination certificates and their additions for a period of at least10 years after the last lift has been manufactured in conformity with therepresentative model of the lift.

28

ANNEX F


FINAL INSPECTION OF LIFTS

1. Final inspection is the procedure whereby the installer of the lift who fulfilsthe obligations of Section 2 ensures and declares that the lift which is beingplaced on the market satisfies the requirements of the Directive. The installerof the lift shall affix the CE marking in the car of each lift and draw up an ECdeclaration of conformity.

2. The installer of the lift shall take all steps necessary to ensure that the liftbeing placed on the market conforms with the model lift described in the ECtype-examination certificate and the essential health and safety requirementsapplicable to it.

3. The installer of the lift shall keep a copy of the EC declaration of conformityand the final inspection certificate referred to in Section 6 for 10 years fromthe date when the lift was placed on the market.

4. A notified body chosen by the installer of the lift shall carry out or havecarried out the final inspection of the lift about to be placed on the market.The appropriate tests and checks defined by the applicable standard(s)referred to in Article 5, or equivalent tests, must be carried out in order toensure conformity of the lift with the relevant requirements of the Directive.

These checks and tests shall cover in particular:

(a) examination of the documentation to check that the lift conformswith the representative model of the lift approved in accordancewith Annex E.B;

(b) � operation of the lift both empty and at maximum load toensure correct installation and operation of the safety devices(end stops, locking devices, etc.),

� operation of the lift at both maximum load and empty toensure the correct functioning of the safety devices in theevent of loss of power,

� static test with a load equal to 1,25 times the nominal load.

The nominal load shall be that referred to in Annex A, Section 5.

After these tests, the notified body shall check that no distortion ordeterioration which could impair the use of the lift has occurred.

29

ANNEX F

5. The notified body must receive the following documents:

� the plan of the complete lift,

� the plans and diagrams necessary for final inspection, in particularcontrol circuit diagrams,

� a copy of the instruction manual referred to in Annex A, Section 6.2.

The notified body may not require detailed plans or precise information notnecessary for verifying the conformity of the lift about to be placed on themarket with the model lift described in the EC type-examination declaration.

6. If the lift satisfies the provisions of the Directive, the notified body shall affixor have affixed its identification number adjacent to the CE marking inaccordance with Annex C and shall draw up a final inspection certificatewhich mentions the checks and tests carried out.

The notified body shall fill in the corresponding pages in the logbook referredto in Annex A, Section 6.2.

If the notified body refuses to issue the final inspection certificate, it muststate the detailed reasons for refusal and recommend means wherebyacceptance may be obtained. Where the installer of the lift again applies forfinal inspection, he must apply to the same notified body.

7. The final inspection certificate, dossiers and correspondence relating to theacceptance procedures shall be drawn up in one of the official languages ofthe Member State where the notified body is established or in a languageacceptable to it.

30

ANNEX G


PRODUCT QUALITY ASSURANCE FOR SAFETY COMPONENTS(module E)

1. Product quality assurance is the procedure whereby the manufacturer of thesafety component who satisfies Section 2 ensures and declares that thesafety components are in conformity with the type as described in the ECtype-examination certificate and satisfy the requirements of the Directivethat apply to them and ensures and declares that the safety component willenable a lift to which it is correctly fitted to satisfy the provisions of the Directive.

The manufacturer of the safety component or his authorised representativeestablished in the Community must affix the CE marking to each safetycomponent and draw up an EC declaration of conformity. The CE markingmust be accompanied by the identification number of the notified bodyresponsible for surveillance as specified in Section 4.

2. The manufacturer must apply an approved quality assurance system forfinal inspection of the safety component and testing as specified in Section 3,and must be subject to surveillance as specified in Section 4.

3. Quality assurance system

3.1. The manufacturer of the safety component must lodge an application forassessment of his quality assurance system for the safety componentsconcerned with a notified body of his choice.


� all relevant information for the safety components envisaged,

� the documentation on the quality assurance system,

� the technical documentation of the approved safety components and acopy of the EC type examination certificates.

3.2. Under the quality assurance system, each safety component must beexamined and appropriate tests as set out in the relevant standards referredto in Article 5 or equivalent tests must be carried out in order to ensure itsconformity to the relevant requirements of the Directive.

All the elements, requirements and provisions adopted by the manufacturerof the safety components must be documented in a systematic and orderlymanner in the form of written measures, procedures and instructions. Thisquality assurance system documentation must ensure a commonunderstanding of the quality programmes, plans, manuals and records.

31

ANNEX GIt must contain in particular an adequate description of:

(a) the quality objectives;

(b) the organisational structure, responsibilities and powers of themanagement with regard to safety component quality;

(c) the examinations and tests that will be carried out after manufacture;

(d) the means to verify the effective operation of the quality assurancesystem;

(e) quality records, such as inspection reports and test data, calibrationdata, reports on the qualifications of the personnel concerned, etc.

3.3. The notified body must assess the quality assurance system to determinewhether it satisfies the requirements referred to in Section 3.2. It mustpresume conformity with these requirements in respect of quality assurancesystems that implement the relevant harmonised standard(1).

The auditing team must have at least one member with experience ofassessment in the lift technology concerned. The assessment proceduremust include a visit to the premises of the safety component manufacturer.

The decision must be notified to the manufacturer of the safety components.The notification must contain the conclusions of the examination and thereasoned assessment decision.

3.4. The manufacturer of the safety components must undertake to dischargethe obligations arising from the quality assurance system as approved andto ensure that it is maintained in an appropriate and efficient manner.

The manufacturer of the safety components or his authorised representativeestablished in the Community must keep the notified body which has approvedthe quality assurance system informed of any intended updating of the qualityassurance system.

The notified body must assess the modifications proposed and decidewhether the modified quality assurance system still satisfies the requirementsreferred to in Section 3.2 or whether a reassessment is required.

It must notify its decision to the manufacturer. The notification must containthe conclusions of the examination and the reasoned assessment decision.

4. Surveillance under the responsibility of the notified body

4.1. The purpose of surveillance is to make sure that the manufacturer of thesafety component duly fulfils the obligations arising out of the approved qualityassurance system.

1 This harmonised standard will be EN 29003, supplemented where necessary to take accountof the specific features of safety components.

32

ANNEX G

4.2. The manufacturer must allow the notified body access for inspection purposesto the inspection, testing and storage locations and provide it with all necessaryinformation, in particular:

� the quality assurance system documentation,

� the technical documentation,

� the quality records, such as inspection reports and test data, calibrationdata, reports on the qualifications of the personnel concerned, etc.

4.3. The notified body must periodically carry out audits to ensure that themanufacturer of the safety components maintains and applies the qualityassurance system and must provide an audit report to the manufacturer ofthe safety components.

4.4. Additionally, the notified body may pay unexpected visits to the manufacturerof the safety component.

At the time of such visits, the notified body may carry out tests or have themcarried out in order to check the proper functioning of the quality assurancesystem where necessary; it must provide the manufacturer of the safetycomponents with a visit report and, if a test has been carried out, with a testreport.

5. The manufacturer must for a period ending 10 years after the last safetycomponent has been manufactured, keep at the disposal of the nationalauthorities:

� the documentation referred to in the third indent of the second paragraphof Section 3.1,

� the updating referred to in the second paragraph of Section 3.4,

� the decisions and reports from the notified body which are referred toin the final paragraph of Section 3.4 and in Sections 4.3 and 4.4.

6. Each notified body must forward to the other notified bodies the relevantinformation concerning the quality assurance system approvals issued andwithdrawn.

33

ANNEX H


FULL QUALITY ASSURANCE FOR SAFETY COMPONENTS(module H)

1. Full quality assurance is the procedure whereby the manufacturer of thesafety component who satisfies the obligations of Section 2 ensures anddeclares that the safety components satisfy the requirements of the Directivethat apply to them and that the safety component will enable a lift to which itis correctly fitted to satisfy the requirements of the Directive.

The manufacturer or his authorised representative established in theCommunity must affix the CE marking to each safety component and drawup an EC declaration of conformity. The CE marking must be accompaniedby the identification number of the notified body responsible for thesurveillance as specified in Section 4.

2. The manufacturer must operate an approved quality assurance system fordesign, manufacture and final inspection of the safety components and testingas specified in Section 3 and must be subject to surveillance as specified inSection 4.


3.1. The manufacturer must lodge an application for assessment of his qualityassurance system with a notified body. The application must include:

� all relevant information on safety components,

� the documentation on the quality assurance system.

3.2. The quality assurance system must ensure compliance of the safetycomponents with the requirements of the Directive that apply to them andenable lifts to which they have been correctly fitted to satisfy thoserequirements.

All the elements, requirements and provisions adopted by the manufacturermust be documented in a systematic and orderly manner in the form ofwritten measures, procedures and instructions. This quality assurance systemdocumentation must ensure a common understanding of the quality policiesand procedures such as quality programmes, plans, manuals and records.

It must contain in particular an adequate description of:

� the quality objectives and the organisational structure, responsibilitiesand powers of the management with regard to the design and qualityof the safety components,

34

ANNEX H

� the technical design specifications, including standards, that will beapplied and, where the standards referred to in Article 5 will not beapplied in full, the means that will be used to ensure that the essentialrequirements of the Directive that apply to the safety components willbe met,

� the design control and design verification techniques, processes andsystematic actions that will be used when designing the safetycomponents,

� the corresponding manufacturing, quality control and quality assurancetechniques, processes and systematic actions that will be used,

� the examinations and tests that will be carried out before, during andafter manufacture, and the frequency with which they will be carriedout,

� the quality records, such as inspection reports and test data, calibrationdata, reports on the qualifications of the personnel concerned, etc.,

� the means of monitoring the achievement of the required design andproduct quality and the effective operation of the quality assurancesystem.

3.3. The notified body must assess the quality assurance system to determinewhether it satisfies the requirements referred to in Section 3.2. It mustpresume compliance with these requirements in respect of quality assurancesystems that implement the relevant harmonised standard (1).

The auditing team must have at least one member with experience ofassessment in the lift technology concerned. The assessment proceduremust include a visit to the manufacturer’s premises.

The decision must be notified to the manufacturer of the safetycomponents.The notification must contain the conclusions of the examination and thereasoned assessment decision.

3.4. The manufacturer of the safety components must undertake to dischargethe obligations arising from the quality assurance system as approved andto ensure that it is maintained in an appropriate and efficient manner.

The manufacturer or his authorised representative established in theCommunity must keep the notified body which has approved the qualityassurance system informed of any intended updating of the quality assurancesystem.

1 This harmonised standard will be EN 29001, supplemented where necessary to take account ofthe specific features of safety components.

35

ANNEX H

The notified body must assess the modifications proposed and decidewhether the modified quality assurance system will still satisfy therequirements referred to in Section 3.2 or whether a reassessment is required.

It must notify its decision to the manufacturer. The notification must containthe conclusions of the examination and the reasoned assessment decision.


4.1. The purpose of surveillance is to make sure that the manufacturer of thesafety components duly fulfils the obligations arising out of the approvedquality assurance system.

4.2. The manufacturer must allow the notified body access for inspection purposesto the inspection, testing, and storage locations and provide it with allnecessary information, in particular:




4.3. The notified body must periodically carry out audits to make sure that themanufacturer of the safety components maintains and applies the qualityassurance system and must provide an audit report to the manufacturer ofthe safety components.

4.4. Additionally, the notified body may pay unexpected visits to the manufacturerof the safety components. At the time of such visits the notified body maycarry out tests or have them carried out in order to check the proper functioningof the quality assurance system where necessary; it must provide themanufacturer of the safety components with a visit report and, if a test hasbeen carried out, with a test report.

5. The manufacturer of the safety components or his authorised representativemust, for a period of 10 years after the last safety component has beenmanufactured, keep at the disposal of the national authorities:

� the documentation referred to in the second indent of the secondparagraph of Section 3.1,



Where neither the manufacturer of the safety components nor his authorisedrepresentative is established in the Community, the obligation to keep the

36

ANNEX H

technical documentation available falls to the person who places the safetycomponent on the Community market.


7. The dossiers and correspondence relating to the full quality assuranceprocedures must be drawn up in one of the official languages of the MemberState where the notified body is established or in a language acceptable toit.

37

ANNEX J


UNIT VERIFICATION FOR LIFTS(module G)

1. Unit verification is the procedure whereby the installer of a lift ensures anddeclares that a lift which is being placed on the market and which has obtainedthe certificate of conformity referred to in Section 4 complies with therequirements of the Directive. The installer of the lift must affix the CE markingin the car of the lift and draw up an EC declaration of conformity.

2. The lift installer shall apply to a notified body of his choice for unit verification.

The application shall contain:

� the name and address of the installer of the lift and the location wherethe lift is installed,

� a written declaration to the effect that a similar application has not beenlodged with another notified body,

� a technical dossier.

3. The purpose of the technical dossier is to enable the conformity of the liftwith the requirements of the Directive to be assessed and the design,installation and operation of the lift to be understood.

So far as relevant for conformity assessment, the technical dossier shallcontain the following:

� a general description of the lift,

� design and manufacturing drawings and diagrams,

� the essential requirements in question and the solution adopted to meetthem (e.g. harmonised standard),

� the results of any tests or calculations carried out or subcontracted bythe installer of the lift,

� a copy of the instructions for use of the lift,

� a copy of the EC type-examination certificates of the safety componentsused.

4. The notified body must examine the technical dossier and the lift and carryout the appropriate tests as set out in the relevant standard(s) referred to inArticle 5 of the Directive, or equivalent tests, to ensure its conformity with therelevant requirements of this Directive.

38

ANNEX J

If the lift meets the requirements of this Directive, the notified body shallaffix, or cause to be affixed, its identification number adjacent to the CEmarking in accordance with Annex C and shall draw up a certificate ofconformity relating to the tests carried out.

The notified body shall fill in the corresponding pages of the logbook referredto in Section 6.2 of Annex A.

If the notified body refuses to issue the certificate of conformity, it must statein detail its reasons for refusing and indicate how conformity can be achieved.When the installer of the lift reapplies for verification he must apply to thesame notified body.

5. The certificate of conformity and the dossiers and correspondence relatingto unit verification procedures must be drawn up in an official language ofthe Member State where the notified body is established or in a languageacceptable to it.

6. The installer of the lift shall keep with the technical dossier a copy of thecertificate of conformity for a period of 10 years from the date on which thelift is placed on the market.

39

ANNEX K


CONFORMITY TO TYPE WITH RANDOM CHECKING FOR SAFETYCOMPONENTS (module C)

1. Conformity to type is the procedure whereby the manufacturer of the safetycomponents or his authorised representative established in the Communityensures and declares that the safety components are in conformity with thetype as described in the EC type certificate and satisfy the requirements ofthe Directive that apply to them and enable any lift to which they are correctlyfitted to satisfy the essential health and safety requirements of the Directive.

The manufacturer of the safety components, or his authorised representativeestablished in the Community, must affix the CE marking to each safetycomponent and draw up an EC declaration of conformity.

2. The manufacturer of the safety components must take all measuresnecessary to ensure that the manufacturing process assures conformity ofthe manufactured safety components with the type as described in the ECtype-examination certificate and with the requirements of the Directive thatapply to them.

3. The manufacturer of the safety components or his authorised representativemust keep a copy of the EC declaration of conformity for a period of 10years after the last safety component has been manufactured.

Where neither the manufacturer of the safety components nor his authorisedrepresentative is established in the Community, the obligation to keep thetechnical documentation available falls to the person who places the safetycomponents on the Community market.

4. A notified body chosen by the manufacturer must carry out or have carriedout checks on safety components at random intervals. An adequate sampleof the finished safety components, taken on site by the notified body, mustbe examined and appropriate tests as set out in the relevant standard(s)referred to in Article 5, or equivalent tests, must be carried out to check theconformity of production to the relevant requirements of the Directive. Inthose cases where one or more of the safety components checked do notconform, the notified body must take appropriate measures.

The points to be taken into account when checking the safety componentswill be defined by joint agreement between all the notified bodies responsiblefor this procedure, taking into consideration the essential characteristics ofthe safety components referred to in Annex D.

On the responsibility of the notified body, the manufacturer must affix thatbody’s identification number during the manufacturing process.

40

ANNEX K

5. The dossiers and correspondence relating to the random checking proceduresreferred to in Section 4 must be drawn up in one of the official languages ofthe Member State where the notified body is established or in a languageacceptable to it.

41

ANNEX L


PRODUCT QUALITY ASSURANCE FOR LIFTS(module E)

1. Product quality assurance is the procedure whereby the installer of a lift whosatisfies Section 2 ensures and declares that the lifts installed are in conformitywith the type as described in the EC type-examination certificate and satisfythe requirements of the Directive that apply to them.

The installer of a lift must affix the CE marking to each lift and draw up an ECdeclaration of conformity. The CE marking must be accompanied by theidentification number of the notified body responsible for surveillance asspecified in Section 4.

2. The installer of a lift must apply an approved quality assurance system forfinal inspection of the lift and testing as specified in Section 3, and must besubject to surveillance as specified in Section 4.


3.1. The installer of a lift must lodge an application for assessment of his qualityassurance system for the lifts concerned with a notified body of his choice.


� all relevant information for the lifts envisaged,

� the documentation on the quality assurance system,

� the technical documentation on the approved lifts and a copy of the ECtype-examination certificates.

3.2. Under the quality assurance system, each lift must be examined andappropriate tests as set out in the relevant standards referred to in Article 5or equivalent tests must be carried out in order to ensure its conformity tothe relevant requirements of the Directive.

All the elements, requirements and provisions adopted by the installer of alift must be documented in a systematic and orderly manner in the form ofwritten measures, procedures and instructions. This quality assurance systemdocumentation must ensure a common understanding of the qualityprogrammes, plans, manuals and quality records.


(a) the quality objectives,

42

ANNEX L

(b) the organisational structure, responsibilities and powers of themanagement with regard to lift quality,

(c) the examinations and tests that will be carried out before placing onthe market, including at the very least the tests laid down in Annex F,4(b),

(d) the means to verify the effective operation of the quality assurancesystem,

(e) quality records, such as inspection reports and test data, calibrationdata, reports on the qualifications of the personnel concerned, etc.

3.3. The notified body must assess the quality assurance system to determinewhether it satisfies the requirements referred to in Section 3.2. It mustpresume conformity with these requirements in respect of quality assurancesystems that implement the relevant harmonised standard(1).

The auditing team must have at least one member with experience ofassessment in the lift technology concerned. The assessment proceduremust include a visit to the premises of the lift installer and a visit to theinstallation site.

The decision must be notified to the lift installer. The notification must containthe conclusions of the examination and the reasoned assessment decision.

3.4. The installer of a lift must undertake to discharge the obligations arising fromthe quality assurance system as approved and to ensure that it is maintainedin an appropriate and efficient manner

The installer of a lift must keep the notified body which has approved thequality assurance system informed of any intended updating of the qualityassurance system.

The notified body must assess the modifications proposed and decidewhether the modified quality assurance system still satisfies the requirementsreferred to in Section 3.2 or whether a reassessment is required.

It must notify its decision to the lift installer. The notification must contain theconclusions of the examination and the reasoned assessment decision.


4.1. The purpose of surveillance is to make sure that the installer of a lift dulyfulfils the obligations arising out of the approved quality assurance system.

1 This harmonised standard will be EN 29003, supplemented where necessary to take account ofthe specific features of the lifts.

43

ANNEX L

4.2. The installer of a lift must allow the notified body access for inspectionpurposes to the inspection and testing locations and provide it with allnecessary information, in particular:




4.3. The notified body must periodically carry out audits to ensure the installer ofa lift maintains and applies the quality assurance system and must providean audit report to the lift installer.

4.4. Additionally, the notified body may pay unexpected visits to the lift installationsites.

At the time of such visits, the notified body may carry out tests or have themcarried out in order to check the proper functioning of the quality assurancesystem where necessary and of the lift; it must provide the lift installer with avisit report and, if a test has been carried out, with a test report.

5. The installer of a lift must, for a period of 10 years after the last lift has beenmanufactured, keep at the disposal of the national authorities:

� the documentation referred to in the third indent of the second paragraphof Section 3.1,




44

ANNEX M


FULL QUALITY ASSURANCE FOR LIFTS(module H)

1. Full quality assurance is the procedure whereby the installer of a lift whosatisfies the obligations of Section 2 ensures and declares that lifts satisfythe requirements of the Directive that apply to them.

The installer of a lift must affix the CE marking on each lift and draw up anEC declaration of conformity. The CE marking must be accompanied by theidentification number of the notified body responsible for the surveillance asspecified in Section 4.

2. The installer of a lift must operate an approved quality assurance system fordesign, manufacture, assembly, installation and final inspection of the liftsand testing as specified in Section 3 and must be subject to surveillance asspecified in Section 4.


3.1. The installer of a lift must lodge an application for assessment of his qualityassurance system with a notified body.


� all relevant information on the lifts, in particular information which makesfor an understanding of the relationship between the design andoperation of the lift and enables conformity with the requirements ofthe Directive to be assessed,

� the documentation on the quality assurance system.

3.2. The quality assurance system must ensure conformity of the lifts with therequirements of the Directive that apply to them.

All the elements, requirements and provisions adopted by the lift installermust be documented in a systematic and orderly manner in the form ofwritten measures, procedures and instructions. This quality assurance systemdocumentation must ensure a common understanding of the proceduressuch as programmes, plans, manuals and quality records.


� the quality objectives and the organisational structure, responsibilitiesand powers of the management with regard to the design and qualityof the lifts,

45

ANNEX M

� the technical design specifications, including standards that will beapplied and, where the standards referred to in Article 5 of the Directivewill not be applied in full, the means that will be used to ensure that therequirements of the Directive that apply to the lifts will be met,

� the design control and design verification techniques, processes andsystematic actions that will be used when designing the lifts,

� the examinations and tests that will be carried out on acceptance of thesupplies of materials, components and sub-assemblies,

� the corresponding assembly, installation and quality control techniques,processes and systematic actions that will be used.

� the examinations and tests that will be carried out before (inspection ofinstallation conditions: shaft, housing of machinery, etc.), during andafter installation (including at the very least the tests laid down inAnnex F, Section 4 (b)),

� the quality records, such as inspection reports and test data, calibrationdata, reports on the qualifications of the personnel concerned, etc.,

� the means of monitoring the achievement of the required design andinstallation quality and the effective operation of the quality assurancesystem.

3.3. Design inspection

When the design is not entirely in accordance with harmonised standards,the notified body must ascertain whether the design conforms to the provisionsof the Directive and, if it does, issue an ‘EC design examination certificate’ tothe installer, stating the limits of the certificate’s validity and giving the detailsrequired for identification of the approved design.

3.4. Assessment of the quality assurance system

The notified body must assess the quality assurance system to determinewhether it satisfies the requirements referred to in Section 3.2. It mustpresume compliance with these requirements in respect of quality assurancesystems that implement the relevant harmonised standard(1).

The auditing team must have at least one member with experience ofassessment in the lift technology concerned. The assessment proceduremust include a visit to the lift installer’s premises and a visit to an installationsite.

1 This harmonised standard will be EN 29001, supplemented where necessary to take account ofthe specific features of the lifts.

46

ANNEX M

The decision must be notified to the lift installer. The notification must containthe conclusions of the examination and the reasoned assessment decision.

3.5. The lift installer must undertake to discharge the obligations arising from thequality assurance system as approved and to ensure that it is maintained inan appropriate and efficient manner.

The lift installer must keep the notified body that has approved the qualityassurance system informed of any intended updating of the quality assurancesystem.

The notified body must assess the modifications proposed and decidewhether the modified quality assurance system will still satisfy therequirements referred to in Section 3.2 or whether a reassessment is required.

It must notify its decision to the lift installer. The notification must contain theconclusions of the examination and the reasoned assessment decision.


4.1. The purpose of surveillance is to make sure that the installer of a lift dulyfulfils the obligations arising out of the approved quality assurance system.

4.2. The lift installer must allow the notified body access for inspection purposesto the design, manufacture, assembly, installation, inspection and testingand storage locations, and must provide it with all necessary information, inparticular:


� the quality records provided for in the design part of the quality assurancesystem, such as results of analyses, calculations, tests, etc.,

� the quality records provided for in the part of the quality assurancesystem concerning acceptance of supplies and installation, such asinspection reports and test data, calibration data, reports on thequalifications of the personnel concerned, etc.

4.3. The notified body must periodically carry out audits to make sure that theinstaller of a lift maintains and applies the quality assurance system andmust provide the installer with an audit report.

4.4. Additionally, the notified body may pay unexpected visits to the premises ofa lift installer or to the assembly site of a lift.

At the time of such visits, the notified body may carry out tests or have themcarried out in order to check the proper functioning of the quality assurancesystem where necessary;

47

ANNEX M

it must provide the lift installer with a visit report and, if a test has beencarried out, with a test report.

5. The installer of a lift must, for a period of 10 years after the lift has beenplaced on the market, keep at the disposal of the national authorities:

� the documentation referred to in the second indent of the secondparagraph of Section 3.1,



Where the installer is not established in the Community, this obligation fallsto the notified body.

6. Each notified body shall forward to the other notified bodies the relevantinformation concerning the quality assurance systems issued and withdrawn.

7. The dossiers and correspondence relating to the full quality assuranceprocedures must be drawn up in one of the official languages of the MemberState where the notified body is established or in a language acceptable toit.

48

ANNEX N


PRODUCTION QUALITY ASSURANCE FOR LIFTS(module D)

1. Production quality assurance is the procedure whereby the installer of a liftwho satisfies the obligations of Section 2 ensures and declares that the liftssatisfy the requirements of the Directive that apply to them. The installer ofthe lift must affix the CE marking to each lift and draw up a written declarationof conformity. The CE marking must be accompanied by the identificationsymbol of the notified body responsible for surveillance as specified inSection 4.

2. The installer of the lift must operate an approved quality assurance systemfor production, installation, final lift inspection and testing as specified inSection 3 and is subject to surveillance as specified in Section 4.


3.1. The installer must lodge an application for assessment of his qualityassurance system with a notified body of his choice.


� all relevant information for the lifts,

� the documentation concerning the quality assurance system,

� the technical documentation of the approved type and a copy of theEC type-examination certificate.

3.2. The quality assurance system must ensure compliance of the lifts with therequirements of the Directive that apply to them.

All the elements requirements and provisions adopted by the installer of a liftshall be documented in a systematic and orderly manner in the form of writtenpolicies, procedures and instructions. The quality assurance systemdocumentation must permit a consistent interpretation of the qualityprogrammes, plans, manuals and records.


� the quality objectives and the organisational structure, responsibilitiesand powers of the management with regard to the quality of the lifts,

� the manufacturing, quality control and quality assurance techniques,processes and systematic actions that will be used,

49

ANNEX N

� the examinations and tests that will be carried out before, during andafter installation(1) ,

� the quality records, such as inspection reports and test data, calibrationdata, qualification reports of the personnel concerned, etc.,

� the means to monitor the achievement of the required lift quality andthe effective operation of the quality assurance system.

3.3. The notified body must assess the quality assurance system to determinewhether it satisfies the requirements referred to in Section 3.2. It presumesconformity with these requirements in respect of quality assurance systemsthat implement the relevant harmonized standard(2).

The auditing team must have at least one member with experience ofassessment in the lift technology concerned. The assessment proceduremust include an inspection visit to the installer’s premises.

The decision must be notified to the installer. The notification must containthe conclusions of the examination and the reasoned assessment decision.

3 4. The installer must undertake to discharge the obligations arising from thequality assurance system as approved and to ensure that it is maintained inan appropriate and efficient manner.

The installer shall keep the notified body that has approved the qualityassurance system informed of any intended updating of the quality assurancesystem.

The notified body must assess the modifications proposed and decidewhether the modified quality assurance system will still satisfy therequirements referred to in Section 3.2 or whether a re-assessment isrequired.

It must notify its decision to the installer. The notification must contain theconclusions of the examination and the reasoned assessment decision.


4.1. The purpose of surveillance is to make sure that the installer duly fulfils theobligations arising out of the approved quality assurance system.

4.2. The installer must allow the notified body access for inspection purposes tothe manufacture, inspection, assembly, installation, testing and storagelocations and must provide it with all necessary information, in particular:


1 These tests include at least the tests provided for in Annex F, Section 4 (b).2 This harmonised standard will be EN 29002, supplemented where necessary to take account of

the specific nature of the lifts.

50

ANNEX N


4.3. The notified body must periodically carry out audits to make sure that theinstaller maintains and applies the quality assurance system and must providean audit report to the installer.

4.4. Additionally the notified body may pay unexpected visits to the installer. Duringsuch visits the notified body may carry out, or cause to be carried out, teststo verify that the quality assurance system is functioning correctly, if necessary.The notified body must provide the installer with a visit report and, if a testhas taken place, with a test report.

5. The installer must, for a period of 10 years after the last lift has beenmanufactured, keep at the disposal of the national authorities:

� the documentation referred to in the second indent of Section 3.1,


� the decisions and reports from the notified body which are referred toin the final paragraph of Section 3.4, Sections 4.3 and 4.4.

6. Each notified body must give the other notified bodies the relevant informationconcerning the quality assurance system approvals issued and withdrawn.

7. Documentation and correspondence relating to the production qualityassurance procedures shall be drawn up in an official language of the MemberState in which the notified body is established or in a language acceptable toit.

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ANNEX P

Schedule 14 to the Regulations (see Regulation 4)

LIST OF PRODUCTS EXEMPTED FROM THE SCOPE OF THEREGULATIONS

� cableways, including funicular railways, for the public or privatetransportation of persons;

� lifts specially designed and constructed for military or policepurposes;

� mine winding gear;

� theatre elevators;

� lifts fitted in means of transport;

� lifts connected to machinery and intended exclusively for accessto the workplace;

� rack and pinion trains;

� construction-site hoists intended for lifting persons or persons andgoods.

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ANNEX Q

MINIMUM CRITERIA TO BE TAKEN INTO ACCOUNT BY MEMBERSTATES FOR THE NOTIFICATION OF BODIES

1. The body, its director and the staff responsible for carrying out verificationoperations may not be the designer, builder, supplier or manufacturer ofsafety components or installer of the lifts which they inspect, nor the authorisedrepresentative of any of these parties. Similarly, the body, its director and thestaff responsible for supervising the quality assurance systems referred to inArticle 8 of the Directive may not be the designer, builder, supplier ormanufacturer of safety components or installer of the lifts which they inspect,nor the authorised representative of any of these parties. They may notbecome involved either directly or as authorised representatives in the design,construction, marketing or maintenance of the safety components or in theinstallation of lifts. This does not preclude the possibility of exchanges oftechnical information between the manufacturer of the safety componentsor the installer of the lift and the body.

2. The body and its staff must carry out the inspection or supervision operationswith the highest degree of professional integrity and technical competenceand must be free from all pressures and inducements, particularly financial,which might influence their judgement or the results of the inspection,especially from persons or groups of persons with an interest in the result ofinspection or supervision.

3. The body must have at its disposal the necessary staff and possess thenecessary facilities to enable it to perform properly the technical andadministrative tasks connected with inspection or supervision; it must alsohave access to the equipment required for special verification.

4. The staff responsible for inspection must have:

� sound technical and professional training,

� satisfactory knowledge of the requirements for the tests they carry outand adequate experience of such tests,

� the ability to draw up the certificates, records and reports required toauthenticate the performance of the tests.

5. The impartiality of the inspection staff must be guaranteed. Their remunerationmust not depend on the number of tests carried out or on the results of suchtests.

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ANNEX Q

6. The body must take out liability insurance unless its liability is assumed bythe State in accordance with national law or the Member State itself is directlyresponsible for the tests.

7. The staff of the body must observe professional secrecy with regard to allinformation gained in carrying out its tasks (except vis-à-vis the competentadministrative authorities of the State in which its activities are carried out)under this Directive or any provision of national law giving effect to it.

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ANNEX R (i) CONFORMITY ASSESSMENT PROCEDURES FOR LIFTS (See Article 8.2 of the Directive)

Model Liftsand lifts with no design

variants onlyEC Type Examination

Module B

(See Annex E)

Full Quality Assurancefor Lifts **

Module H

(See Annex M)

Article 8.2 (i) and (ii) * Article 8.2 (iii)D

ES

IGN

Final Inspection

(See Annex F)

ProductionQuality

Assurancefor Lifts

Module D(See Annex N)

Product QualityAssurance

for Lifts

Module E(See Annex L)

ProductionQuality

Assurancefor Lifts

Module D(See Annex N)


for Lifts

Module E(See Annex L)C

ON

ST

RU

CT

ION

INS

TA

LLA

TIO

NA

ND

TE

ST

ING Final

Inspection

(See Annex F)

***

AN

NE

X R

55

ANNEX R (ii) CONFORMITY ASSESSMENT PROCEDURES FOR LIFTS (See Article 8.2 of the Directive)

DE

SIG

NC

ON

ST

RU

CT

ION

INS

TA

LLA

TIO

NA

ND

TE

ST

ING

*** Note: See also the requirements in Article 8.3

Unit

Verification

Procedure

Module G

(See Annex J)

Full

Quality

Assurance

for Lifts

Module H

(See Annex M)

Article 8.2 (iv) Article 8.2 (v)

***

* Note: The procedures for design and constructionstages and the installation and testing stages maybe carried out on the same lift.

** The design must be examined if it is not whollyin accordance with harmonised standards.

AN

NE

X R

56

ANNEX R (iii) CONFORMITY ASSESSMENT PROCEDURES FOR SAFETY COMPONENTS

EC Type Examination

Module B

(See Annex E)

FullQuality

Assurancefor safety

Components

Module H

(See Annex H)

DE

SIG

N

Conformity to typewith random checking

Module C

(See Annex K)

* plus CE marking and declaration of conformity requirements

MA

NU

FA

CT

UR

ING

( See Article 8.1 of the Directive) *


Module E

(See Annex L)

AN

NE

X R

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